| C/R | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|
| C | Advising on corporate finance | - | 2010-03-09 |
| C | Advising on futures contracts | 2005-08-24 | 2010-03-09 |
| C | Advising on securities | - | 2010-03-09 |
| C | Asset management | - | 2010-03-09 |
| C | Automated trading services | - | 2003-09-08 |
| C | Dealing in futures contracts | 2005-08-24 | 2010-03-09 |
| C | Dealing in securities | - | 2010-03-09 |